ALF Regulatory Compliance & Licensing 3 — Questions and Answers
Question 1: During an unannounced survey, a state surveyor asks to review resident records. What should the administrator do?
- Provide access, as surveyors have legal authority to inspect records (Correct answer)
- Require a subpoena before releasing any records
- Ask residents to sign releases before granting access
- Provide only records the administrator selects
Correct answer: Provide access, as surveyors have legal authority to inspect records
State surveyors have statutory authority to access resident records during inspections without individual consent or subpoenas.
Question 2: A facility wishes to deviate from a specific physical plant requirement in the regulations. What should it request?
- An exemption from the local fire department
- A letter of support from residents' families
- A waiver or variance from the licensing agency (Correct answer)
- Permission from its liability insurer
Correct answer: A waiver or variance from the licensing agency
A waiver or variance is the formal mechanism for requesting relief from a specific regulatory requirement.
Question 3: Which situation most likely requires the facility to notify the licensing agency?
- Hiring a new dietary aide
- A change of administrator (Correct answer)
- Replacing furniture in the lobby
- Updating the weekly activity calendar
Correct answer: A change of administrator
States typically require notification when key personnel such as the administrator change.
Question 4: An ALF admits a resident whose care needs exceed what the facility's license level allows. What is the primary compliance risk?
- Violating federal antitrust law
- Breaching the resident's lease agreement only
- Losing its tax-exempt status
- Operating outside the scope of its license (Correct answer)
Correct answer: Operating outside the scope of its license
Admitting or retaining residents beyond the licensed level of care places the facility outside the scope of its license.
Question 5: Failure to renew an ALF license before its expiration date most commonly results in what?
- Late fees or lapse requiring the facility to stop admissions or operations (Correct answer)
- Automatic renewal at the prior year's terms
- Transfer of the license to the county
- A mandatory five-year suspension
Correct answer: Late fees or lapse requiring the facility to stop admissions or operations
An expired license can trigger late penalties or an operational lapse that jeopardizes the facility's legal ability to operate.
Question 6: Which of the following is generally a condition of initial ALF licensure?
- Achieving full resident occupancy
- Accreditation by a national hospital body
- Passing a life safety and physical plant inspection (Correct answer)
- Contracting with a specific pharmacy chain
Correct answer: Passing a life safety and physical plant inspection
Initial licensure typically requires the building to pass life safety, fire, and physical plant inspections before residents move in.
Question 7: A surveyor cites an immediate jeopardy situation. What does this classification indicate?
- A minor paperwork deficiency
- Noncompliance likely to cause serious injury, harm, or death to residents (Correct answer)
- A first-time violation with no penalty
- A billing discrepancy under review
Correct answer: Noncompliance likely to cause serious injury, harm, or death to residents
Immediate jeopardy is the most severe classification, indicating a situation likely to cause serious harm or death if not corrected at once.
ALF Regulatory Compliance & Licensing 3
During an unannounced survey, a state surveyor asks to review resident records.
What should the administrator do?